Compliance Monitoring Manager Resume Sample
Monica Ankunding
2762 Kertzmann Islands,
Philadelphia,
PA
+1 (555) 563 8550
Work Experience
Compliance Monitoring Manager
05/2017
-
PRESENT
Detroit, MI
- Ensuring that RBC’s CMP remains current in respect of the changing regulatory environment
- Driving forward RBC’s monitoring capabilities, benchmarking with our peers, hosting and attending monitoring forums
- Be passionate about testing and monitoring and driven by “doing the right thing”
- Communicate process recommendations and findings in a diplomatic and effective manner
- Effectively maneuver through the organization, assist in influencing others, and keep up with the ever-changing and growing First Republic Bank landscape
- Developing and updating the Bank’s risk-assessment and testing procedures
- In collaboration with the Pharma Global I&C Enforce director and other key stakeholders, support the implementation of the Regional I&C monitoring program
- Collaborate with key internal and external business partners in order to support and continuously enhance Compliance Monitoring personnel knowledge and training
- Effectively utilize various technical applications, navigating through various data systems, gathering and analyzing data from multiple relevant sources in order to identify trends, patterns of non-compliance and or gaps in established key controls, processes and/or procedures
Senior Compliance Monitoring Manager
12/2012
-
03/2017
San Francisco, CA
- Effectively share and communicate monitoring observations, support the development of remediation plan with key business stakeholders
- Provide support and assistance to business to ensure the business monitoring plans of specified operations within each focus area are developed and executed as required
- Establish credible cross-functional business relationships to ensure collaboration, adherence to and maintenance of established work programs and processes
- Support investigations of reported compliance related issues and help ensure BPO investigations are conducted timely and according to established policy and standard processes
- Management and continued development of the Operations and ATO Compliance Monitoring System including implementation of an extensive audit and inspection programme throughout Ryanair’s network
- Ensures that resource budgets are managed effectively
- Clarifies roles and responsibilities of stakeholders relevant to each review including the Accountable Executive for the business area being reviewed
UK Compliance Monitoring Manager / Team Lead
04/2007
-
08/2012
Houston, TX
- Agrees any remedial actions emerging from each review and tracks progress of these through to closure
- Provides input into the development and maintenance of the risk based Compliance Monitoring plan
- Prepares monitoring reports to specified standards including format, style and timeliness with the need for minimal changes
- Conducts a quality review of the review evidence to ensure it supports the findings
- Provides clear and sufficient evidence to support the need for remedial actions
- Ensures that critical findings are reported immediately as appropriate
- Achieves buy-in and agreement from the Accountable Executive to the report findings and agreed remedial actions
Education
Strayer University - Tampa Westshore Campus
2003 - 2007
Bachelor's Degree in Business
Professional Skills
- Strong positioning and closing skills
- Proven experience of operating in a Compliance department in the UK regulatory environment with monitoring experience
- Strong conflict management skills
- Strong written and oral communication skills
- Strong written and oral communication skills
- Excellent communication skills, both written and oral and able to communicate at all levels
- Planning and organising skills
How to write Compliance Monitoring Manager Resume
Compliance Monitoring Manager role is responsible for influencing, benefits, analytical, excel, reporting, finance, training, auditing, security, trading.
To write great resume for compliance monitoring manager job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance Monitoring Manager Resume
The section contact information is important in your compliance monitoring manager resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:
- First and last name
- Telephone number
Work Experience in Your Compliance Monitoring Manager Resume
The section work experience is an essential part of your compliance monitoring manager resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous compliance monitoring manager responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular compliance monitoring manager position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance Monitoring Manager resume experience can include:
- Plans effectively to ensure Monitoring reviews are delivered within the agreed timetable
- Perform and / or oversee risk-based surveillance to confirm that first line compliance controls are operating effectively
- Conducting thematic compliance monitoring reviews in line with the global methodology and ensuring evidence is retained of such
- Liaising with the business and Senior Management in respect to ongoing monitoring and management of open compliance actions as a result of thematic monitoring
- Developing training materials and providing training to applicable business units to assist with correct action
- Analyzing trends and preparing periodic cumulative reports on the results of the monitoring program for reporting to Executive Management
Education on a Compliance Monitoring Manager Resume
Make sure to make education a priority on your compliance monitoring manager resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance monitoring manager experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.
Additional details to include:
- School you graduated from
- Major/ minor
- Year of graduation
- Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.
Professional Skills in Compliance Monitoring Manager Resume
When listing skills on your compliance monitoring manager resume, remember always to be honest about your level of ability. Include the Skills section after experience.
Present the most important skills in your resume, there's a list of typical compliance monitoring manager skills:
- Proven track record of interfacing effectively with business colleagues at senior management level. Evidence of being an agent of change
- Proven track record of interfacing effectively with business colleagues at senior management level. Evidence of being an agent of change.
- Demonstrated strong communication skills, written and verbal
- Good analytical skills. Ability to analyse reports, explain findings and suggest improvements
- Influencing skills in order to obtain ‘buy-in’ to review findings
- Influencing skills in order to obtain ‘buy-in’ to recommendations and business benefits
List of Typical Experience For a Compliance Monitoring Manager Resume
1
Experience For Senior Compliance Monitoring Manager Resume
- Acts as a role model for good performance to other Compliance Monitoring Managers
- Confident, methodical and organised with excellent attention to detail
- Implement effective compliance risk management practices
- Assist in the collation, production, analysis and monitoring of MI, reporting compliance and regulatory risks and issues to FS senior management
- Understands the processes and competences required to complete a Compliance Monitoring review
- Prepare the annual reporting (under supervision) to our regulators (the AMF)
- Strategically develop, implement, and continuously improve the Compliance Monitoring function for the EMEA region with a risk-based, data-driven approach
- Gives context to findings and recommendations in relation to wider related risk, control and governance issues
2
Experience For Alcentra, Compliance Monitoring Manager Resume
- Provides input into the preparation of the quarterly report to the Marsh Ltd Audit Committee which provides an update on the progress of the plan, issued raised and remedial actions
- Lead independent second line risk-based monitoring, themed reviews and ad-hoc reviews of procedures, business and compliance processes to identify and escalate potential gaps in adherence to applicable laws, regulations, regulatory guidance and AI or Aviva Group policy, agreeing these and proportionate remediation with stakeholders
- Prepare well-written, coherent and succinct reports on reviews appropriate for circulation to senior stakeholders
- Establish and maintain constructive relationships within relevant business areas
- Increasing involvement to identify and escalate potential gaps in adherence to applicable laws, regulations, regulatory guidance and AI or Aviva Group policy, agreeing these and proportionate remediation with stakeholders
- Carry out monitoring reviews as per the monitoring plan for the French business that covers all the activities of the business, including fund management activity, operations, marketing and sales activities on mutual funds to ensure compliance with regulations
- Maintain Compliance Monitoring Calendar; conduct reviews; document findings conclusions and provide recommendations and ensure the follow-up. Ensure the record keeping is done through Bwise tool
3
Experience For UK Compliance Monitoring Manager / Team Lead Resume
- Ensure efficiency of procedures by implementing or updating them
- Work closely with the RCCI in France and potentially with the compliance teams within Continental Europe
- Work with the business to ensure workable ad hoc solutions for all weaknesses or breaches highlighted by the reviews
- Attend relevant meetings in order to assess any areas of business or regulatory risks; highlight risks and liaise with business area contacts to improve risk controls
- Attend external presentations on relevant subjects to provide necessary input to the business
- Keep up to date with relevant regulatory developments
- Participation in Risk/Committee or Client Meetings and represent BNY Mellon externally as required
- Ensure that all compliance monitoring is completed in accordance with the annual monitoring program on time and to a high standard in line with the global compliance monitoring methodology
- Ensure that all findings identified within an allocated review are accurately recorded on EV GCMS and that proactive actions are taken to ensure satisfactory resolution of issues raised
4
Experience For Newton, Compliance Monitoring Manager Resume
- Represent Compliance at internal meetings and Committees where required
- Prepare regular management information for senior stakeholders
- Carry out trend and root cause analysis on complaints and help implement remediation action
- Provide confidence to external stakeholders, such as D&B customers and regulators, on D&B’s compliance commitments
- Able to proactively manage own workload
- Able to build relationships and work with with all levels of the company
- Able to work collaboratively with other D&B functions e.g. Data Governance, Security and our World Wide network partners (affiliated companies) to ensure compliance harmonization and alignment across the enterprise
5
Experience For ATO Compliance Monitoring Manager Resume
- Assessment and analysis of complaints and incidents
- Investigation into breach and the preparation of the incident report
- Ad hoc project tasks
- Preparing a comprehensive compliance monitoring plan/schedule on an annual basis, and updating the plan/schedule to account for changes in the regulatory environment and internal operations
- Conducting regulation specific testing to complete monitoring requirements
- Administration of the monitoring program with Compliance Risk Management staff and business units within the designated timeframes assigned
- Tracking and monitoring outstanding issues/violations noted through the monitoring process, audits, or regulatory exams until completion. Incorporate follow-up testing into the existing monitoring plan
6
Experience For Compliance Monitoring Manager, Amac Resume
- Schedules, communicates and executes monitoring plans, including protocols, templates, reports, dashboards and escalations. Identifies opportunities for improvement in AbbVie’s business activities and processes
- Operates independently within well-defined expectations, checking in as necessary with supervisor(s)
- Design, implement, and improve various business processes
- Use data analytics tools and insights to provide information that leads to impactful business decisions
- Reports to OEC Compliance Manager
- Background in measurement, analytics and data analysis
7
Experience For Newton Compliance Monitoring Manager Resume
- Develop and maintain strong business relationships with customer-facing and key gatekeeper functions to improve the effectiveness of Zimmer Biomet compliance-related controls
- Partner with business colleagues to develop and complete risk assessments, monitoring plans (on-site and through data analytics), monitoring protocols, findings, and timely and effective remediation
- Clearly communicate, both written and verbal, to internal and external stakeholders the high-level and project-specific expectations and purpose of the APAC compliance monitoring program
- Remain current with the US Foreign Corrupt Practices Act provision as well as local anti-corruption, anti-bribery laws and medical device industry codes and requirements in APAC countries
- Strong data analytical skills and clear and concise writing skills are required, along with a command of grammar and style conventions
- Co-ordinate and oversee effective Desk-based monitoring activity to ensure Conduct Risks are appropriately monitored and escalated
- Mastery of relevant data analytics tools, such as Tableau, Druva, SAS, SAP Hana, or other similar tools is required
8
Experience For Gida Compliance Monitoring Manager Resume
- Clearly communicate, both written and verbal, to internal and external stakeholders the high-level and project-specific expectations and purpose of the EMEA compliance monitoring program
- Remain current with the US Foreign Corrupt Practices Act provision as well as local anti-corruption, anti-bribery laws and medical device industry codes and requirements in EMEA countries
- Provide on-going management and supervision to the Field and Desk-based Compliance teams to ensure timely delivery of all monitoring activity to an appropriate standard
- Assist in the development of Field and Desk-based Compliance team members, as appropriate, by providing support, feedback and coaching in all aspects of their job roles
- Assist and support the Head of Compliance as required in order to support the delivery of a robust Compliance Monitoring Framework and controls
- To ensure that appropriate compliance monitoring procedures are in place and that they remain fit for purpose, in line with regulatory requirements and changes
9
Experience For Compliance Monitoring Manager Retail Banking & Operations Resume
- Co-ordinate and oversee Field monitoring activity in line with the CPS Compliance Monitoring Plan and agreed targets, reporting findings and recommendations to senior management
- Co-ordinate and manage investigations into acts or allegations of misconduct and report findings in line with departmental procedures
- Provide advice and guidance for internal and external stakeholders on compliance-related process issues
- Have sound awareness and understanding of FS compliance control environment and systems and provide advice and guidance on any compliance related issues or impacts relating to these controls
- Support the Global Head of Compliance Monitoring in the design and delivery of an effective Compliance Monitoring Programme to ensure that an appropriate compliance culture, systems and controls are in place to minimise regulatory risk to Aviva Investors
- Arrange and manage transaction surveillance and risk based monitoring reviews including scope, scheduling and timely delivery in terms of the UK Monitoring Plan
10
Experience For Compliance Monitoring Manager Resume
- Coordinate oversight assurance with Internal Audit, Risk Management and Compliance Advisory
- Coaches and shares knowledge of own subject expertise
- Identifies areas of expertise throughout Guy Carpenter UK/Marsh and utilises when appropriate
- Manages relationships with other parts of the business
- Embraces responsibility for allocated tasks
List of Typical Skills For a Compliance Monitoring Manager Resume
1
Skills For Senior Compliance Monitoring Manager Resume
- Influencing skills in order to obtain ‘buy-in’ to recommendations and business benefits
- High quality testing and writing skills with meticulous attention to detail, efficient and organised
- Proven track record of compliance experience within reinsurance/reinsurance broking
- Proven track record in building strong and constructive relationships with business leaders
- Proven track record of compliance experience within insurance/ insurance broking
- Proven track record in building strong and constructive relationships with business leaders
2
Skills For Alcentra, Compliance Monitoring Manager Resume
- Analytical, problem solving and project management skills
- Experience: Banking and compliance experience required
- Strong team working skill
- Proven experience in the UK Financial Sector, preferably with a background in Client Asset compliance or assurance
- Communicates effectively outside their area
- Strong understanding of a global financial services business either directly or via an audit background covering relevant financial service clients
- Previous compliance monitoring and/or auditing experience, with the use of data analytics, is required
3
Skills For UK Compliance Monitoring Manager / Team Lead Resume
- Good understanding of current and anticipated UK, European and other countries’ requirements and supervisory expectations
- Experience within a similar compliance monitoring role within the financial services industry
- Strong understanding of a global investment management environment, business model & operational processes
- Extensive experience of compliance monitoring in the UK regulatory environment
- Diploma in Compliance/Risk Management, CSA Level 5 Risk and Compliance Management Diploma or equivalent experience
- Effective manager of senior stakeholder relationships
- Industry Experience in financial services, ideally in life and pensions
- Experience in compliance and audit, preferably with an international exposure
- Strong knowledge in French regulations
4
Skills For Newton, Compliance Monitoring Manager Resume
- Track actions, assess and verify that the evidence provided sufficiently addresses identified issues
- Builds good relationships with colleagues throughout Guy Carpenter/Marsh
- Builds good relationships with colleagues throughout Marsh
- Build strong relationships with and provide support to other Compliance team members
- Staying abreast of changes to federal and state banking laws and regulations affecting the management, operations, and product offerings of the Bank
- Representing the monitoring team at governance committees and forums as required
- Training and supporting other members of the team
- Drafting compliance monitoring plan based on risk assessment
5
Skills For ATO Compliance Monitoring Manager Resume
- Determining the “root cause” of issues noted in the monitoring reviews
- Understanding of the insurance industry
- Contributing to the Compliance Department’s assessment of the regulatory risks faced by Newton
- Providing timely and accurate Management Information where relevant to internal stakeholders
- Drafting risk assessments based on regulatory/legal obligations
- Providing recommendations for corrective action to the business units
- Produce Draft reports as per each Monitoring for review by Country Compliance Monitoring and Training Manager
6
Skills For Compliance Monitoring Manager, Amac Resume
- Act as a Review Manager in reviewing and approving monitoring programmes
- Execute compliance monitoring plan – including the drafting of reports and follow up actions
- Be responsible for managing and updating breach logs and advising on whether an external notification is necessary
- Assist Country Compliance Monitoring and Training Manager
- Ensure reports/working papers and databases are properly archived after the completion of the Compliance Monitoring
7
Skills For Newton Compliance Monitoring Manager Resume
- Work towards leading independent second line risk-based monitoring, themed reviews and ad-hoc reviews of procedures, business and compliance processes
- Act as a delegate for the UK Monitoring Manager in providing support and guidance to team members where required
- Assist business in their development of compliance monitoring and review programmes, and ensure robust delivery against policy
- Carry out Risk based Compliance Monitoring as per Annual Plan
- Co-ordinate progress on set targets and achieve targets through managing in country compliance resources
8
Skills For Gida Compliance Monitoring Manager Resume
- Broad knowledge and understanding of insurance principles, products and services
- Broad knowledge and understanding of insurance principles, products and services
- Contribute to the accurately and timely production of MI used for identification and monitoring of risks and controls in their functional area
- Oversee and monitor key Regulatory risks, including Conduct Risk
- Maintain accurate and up to date working databases which correctly reflect the final report issued
- Pro-actively represent Compliance in any business change activity and projects, ensuring that they are assessed from a regulatory perspective
- Provide technical training to the business on regulations and regulatory developments
- Proactively chase outstanding and overdue issues and reflect updates on EV GCMS in line with the requirements of the global methodology
9
Skills For Compliance Monitoring Manager Retail Banking & Operations Resume
- Represent Compliance on external committees, working groups, and trade body seminars if required to do so
- Represent Compliance at client meetings where required to provide updates in respect to monitoring
- Review existing control measures and ensure adequacy
- Draft and give training on key areas
- Able to develop an in-depth understanding of relevant operational processes,
- Be commercially minded and always looking for solutions that satisfy compliance requirements with minimal adverse business impact
- Work closely with and assist the Compliance Managers in working to a compliance framework and culture
- Compliance reporting to boards, committees, group and regulators
10
Skills For Compliance Monitoring Manager Resume
- Development and maintenance of the compliance monitoring program
- Refine a compliance testing strategy
- Compilation and analysis of compliance monitoring results performed by the business units
- Preparation and presentation of final monitoring reports to business unit management in the form of exit meetings
- Strategically develop, implement, and continuously improve the Compliance Monitoring function for the APAC region with a risk-based, data-driven approach
- Create, maintain, and continuously improve data analytics and dashboards to perform real-time monitoring of designated risk areas
- Uses a variety of communication methods – but gets complex messages across simply
- Collaborative approach to business relationships
- Articulate complex concepts simply
List of Typical Responsibilities For a Compliance Monitoring Manager Resume
1
Responsibilities For Senior Compliance Monitoring Manager Resume
- Apply the BAGL compliance methodology and processes for the monitoring and reporting of compliance risks and issues
- The ability to share specialist knowledge with others to aid their understanding and decision making
- Knowledge of client money (CASS) rules
- Collaborative approach to business relationships
- Knowledge in asset management industry is required
- Native French (Fluent in English)
- Identifies areas of expertise throughout Marsh and utilises when appropriate
2
Responsibilities For Alcentra, Compliance Monitoring Manager Resume
- Together with the Head of Compliance Monitoring develop a suite of material including but not limited to ToR’s, Monitoring Universe, annual compliance monitoring plan and escalation procedures for approval by the Compliance Committee
- Undertake Compliance Monitoring Reviews in a timely and constructive manner as well as delivering high quality Compliance Monitoring Reports to management and stakeholders across the business
- Identify and escalate risk exposures to Risk Owners, Directors and Business Management within Dixons Carphone on a timely basis and monitor that action plans are in place to address the risks
- Building and maintaining excellent, visible relationships with the wider business
- Oversee remediation of control weaknesses relating to Regulatory risk, ensuring that these are set up and resourced appropriately by the business and tracked to conclusion
3
Responsibilities For UK Compliance Monitoring Manager / Team Lead Resume
- Regularly review and analyse risk MI, including but not limited to the key metrics to determine the risk profile for Regulatory risks
- Provide trusted MI to Boards, Committees, and other bodies
- Knowledge of relevant legislation and regulations
- Knowledge of client money (CASS) rules
- Implement, align and embed compliance principles and methodology within specific business function
4
Responsibilities For Newton, Compliance Monitoring Manager Resume
- Ensure that appropriate compliance policies are in place and embedded to meet BAGL and Group and local regulatory requirements
- Monitor the operation of the compliance policies
- Manage regulatory compliance coverage for the within specific business function
- Working with local business management to ensure compliance with general compliance matters, advise on upstream risk and act as a liaison between those areas and local regulatory authority
- Assessment, communication and implementation of regulatory change to include responses to industry papers
5
Responsibilities For ATO Compliance Monitoring Manager Resume
- Knowledge of FCA/GDPR or willingness to receive qualifications within 6-12 months
- Ensure all relevant compliance policies and procedures are rolled out and embedded across the business
- Support the business in implementation of a risk-based approach to compliance
- Demonstrable ability to see through projects to the end
- OR Practical understanding of the requirements to meet and demonstrate compliance with relevant legislation, regulations, policies and codes governing the Financial Services industry
- Demonstrable ability to see through projects through to the end
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